Orchid Advisorsorchidadvisors.com/editor_uploads/documents/FCC_Program.pdf · Orchid Advisors is a...

Transforming The Compliance EcosystemOrchid AdvisorsTM

TM

2014 Conference ProgramMiami, FL • October 6-8, 2014

You know the regulations, now what?

2014 FIREARMS INDUSTRY COMPLIANCE CONFERENCE 1

Welcome to the 2014 Firearms Industry Compliance Conference!“You know the regulations, now what?”That’s the theme of the first annual, Firearms Industry Compliance Conference. You have attended the right seminars. You know the ATF regulations that apply to you. If you’re an exporter, you been trained in ITAR and FCPA.

Now that you know the regulations, . . .

What do you do with all of that knowledge? How do you operationalize a disparate group of regulations across buying, shipping, sales, or even broader, across your suppliers, distrib-utors and agents? What lasers should I use to mark a firearm? What is the best software for A&D book records, and what are my peers using? Why do I still have WGIB? And, who can help me make third party diligence easier?

The Firearms Industry Compliance Conference is about converting regulatory knowledge (i.e., training) into “operational processes.” The goal of being an FFL holder is to achieve financial prosperity while staying within regulated boundaries. The goal of this conference, and of your host firm, Orchid Advisors, is to provide you with practical examples, tools and benchmarks to convert your compliance investment into business value – right now.

Having said that, up-to-date information regarding applicable regula-tions is the foundation for successful compliance systems. In that regard, we are very pleased that the Bureau of Alcohol, Tobacco, Firearms and Explosives and Customs and Border Protection have provided represent-atives to address this group. Mark Smith, Rob Cicero, Wayne Decker, Larry Keane, Jeff Grody, Andrea James, Tom Houck, and others will be delivering keynote presentations, applicable to suppliers, manufacturers, distributors and dealers.

I ask that you recognize the time, expertise and support invested in this conference by our collective group of speakers, sponsors and exhibitors.

Host firm CEO, Jon Rydberg, Orchid Advisors

2 2014 FIREARMS INDUSTRY COMPLIANCE CONFERENCE

In closing, I am very happy to announce that next year’s conference and all conferences thereafter will be moved to the Spring. Please reserve next May 12-13 to join us in Orlando, FL for the 2015 Firearms Industry Compliance Conference, and consider this special offer applicable only during this conference: register now for next year’s conference and you will be provided a deeply discounted registration for only $99.

Enjoy the conference!

Best Regards,Jon RydbergCEO, Orchid Advisors


We are proud to provide information about our conference sponsors and exhibitors in-between sections of this guide. We encourage you to learn more about their services and products.

Table of ContentsAbout Orchid Advisors 4

Thank You to Our Sponsors and Exhibitors 7

Special Recognition 8

A Diverse Audience 9

Map of Turnberry Isle 12

Local Attractions 15

Transportation Information 17

2014 Three-Day Conference Agenda 18

Speaker Biographies 30

Save the Date! 2015 Firearms Compliance Conference 56

Notes 60


About Orchid AdvisorsOrchid Advisors is a strategic management consultancy focused on trans-forming the worlds of operations, technology and compliance in selected industries. Our initial entry market is the Firearms Industry where Orchid serves more major manufacturers and key participants in the distribution chain than any other consulting firm. Orchid clients hire the firm to help reinvent business processes, implement technology solutions, and drive cultural engagement. Orchid Advisors bring the depth and breadth of Big Four consulting with the innovation, thought leadership, and economies of a boutique analyst firm.

Major Accomplishments in 2014: � Endorsed by NSSF as Compliance Information

Provider � Launched the Firearms Compliance University � Launched the Firearms Industry Portal � Released the Transaction Validation Tool

software application � Released the Serial Number Inventory Tool software application � Launched the Virtual Mock Inspection Suite � Published our fifth work on firearms compliance � Published the Global Anti-Corruption Guide (FCPA & UK Bribery Act)

� Completed the 2nd implementation of the only working SAP ATF design

Orchid is currently hyper-focused on delivering ATF, ITAR, Import/Export and Anti-Corruption compliance services but we also offer our clients a broad array of specialized strategic services. Orchid’s founder and executive team members bring almost 100 collective years of top-tier consulting, regulatory, legal and commercial experience to Orchid clients in the following areas:


Industries � Firearms � Aerospace & Defense �High-Technology � Retail � Private Equity � Distribution � Entertainment

Services �M&A � Corporate Transactions � Intellectual Property � Supply Chain Optimization � Strategic Sourcing � Internal Audit and Sarbanes-Oxley � Financial Close Re-engineering � System Implementations � Government Contracting Regulations

Sample Clients Served By Our TeamSmith & Wesson, Remington Outdoor Company, Colt Defense, Colt’s Manufacturing, Tri-Town Precision Plastics, Deep River Plastics, Savage Arms, Advanced Forming Technology, ARC MIM, Mossberg, Maverick, Davidson’s, Fabtron, SSI Manufacturing, Constitution Arms, Centennial Arms, Buds Gun Shop, Dave’s Sport Shop, Raytheon, Mazda, Mitsubishi, Stanley, 99c Only Stores, Unified Western Grocers, Estee Lauder, DirecTV, International Rectifier, General Dynamics, Lockheed, Emulex, UTC, Wet Seal, AT&T, MCI, Sprint, Verizon, BT, NTT, Telstra, France Telecom, Deutsche Telecom, Ukrtelecom, Jordan Telecom, Egypt Telecom, Cisco, Alcatel, Lucent, Juniper Networks, Nokia, Ericsson, Siemens, Northeast Utilities and others.

More about our firm and ability to transform firearm industry compliance can be found at the end of this guide.

Current Industry Projects � Acquisition due diligence and vertical integration � Full-scale compliance program implementation � DOJ/SEC anti-corruption investigations and program design � Re-design of pick, pack and ship processes � Implementation of SCORM-compliant, online training � Implementation of on-line policy management systems


�Holistic operations and logistics re-engineering � In-person and online training programs � Laser-to-ERP middleware � Full scale ERP implementation � Internal Audits and Mock regulatory Inspections � Post-inspection remediation and facilitation � Custom and off-the-shelf A&D Book design � Serialized scanning and barcode hardware sourcing � ITAR broker training � ITAR manufacturer training and compliance manual preparation � Drafting/amending manufacturing license agreements and technical assistance agreements

� Global anti-corruption training � Intellectual property protection training � Shared services analysis and duplicate payment recovery � Strategic sourcing and cost-optimization


Thank You to Our Sponsors and Exhibitors

DYNAMIC TRANSACTION SOLUTIONS

RETAIL PROFIT SYSTEMS


Special RecognitionNational Shooting Sports Foundation

The National Shooting Sports Foundation is the trade association for the firearms industry. Its mission is to promote, protect and preserve hunting and the shooting sports. Formed in 1961, NSSF has a membership of more than 10,000 manufacturers, distributors, firearms retailers, shooting ranges,

sportsmen’s organizations and publishers. Attendee: Larry Keane, Sr. VP & General Counsel.

Bureau of Alcohol, Tobacco, Firearms and ExplosivesATF is a unique law enforcement agency in the United States Department of Justice that protects our communities from violent criminals, criminal organizations, the illegal use and trafficking of firearms, the illegal use and storage of explosives, acts of arson and bombings, acts of terrorism, and the illegal diversion of alcohol and tobacco products. ATF partners with communities, industries, law enforcement, and public safety agencies to safeguard the public it serves through information sharing, training, research and use of technology. Attendees:

�Marvin Richardson - Deputy Assistant Director, ATF Enforcement Programs and Services

�Michael Fronczak - Chief, Firearms and Explosives Industry Division � Alphonso Hughes - Chief, Firearms and Explosives Services Division �Max Kingery - Chief, Firearms Technology Branch � John Badowski - ATF Firearms Industry Technical Advisor � Andrew Lang - Chief, Office of Regulatory Affairs � And more

Customs and Border Protection (CBP)With more than 60,000 employees, CBP is one of the world’s largest law enforcement organizations charged with keeping terrorists and their weapons out of the U.S., as well as facilitating lawful international travel and trade by using their authority to enforce regulations of more than 45


government agencies. Attendee: Ted Clifton, CBP Officer, U.S. Customs and Border Protection, Office of Field Operations.

Our Keynote Speakers (See page 28) � Larry Keane - Sr. VP & General Counsel, National Shooting Sports Foundation

�Wayne Decker – Senior VP, Operations at Big Rock Sports � Rob Cicero - VP, General Counsel, Chief Compliance Officer and Secretary at Smith & Wesson

�Mark Smith – VP, Manufacturing & Supply Chain Management at Smith & Wesson

� Tom Houck – VP, US MIM Operations at ARC MIM � Andrea James – Vice President & Senior Research Analyst, Dougherty & Company

� Jeff Grody – Principal, Orchid Advisors

A Diverse AudienceThe following are amongst a few of the major Firearms Industry partici-pants attending this years conference.

Regulatory Agencies and Groups � Bureau of Alcohol, Tobacco, Firearms and Explosive � Customs and Border Protection � National Shooting Sports Foundation

Companies � Access Global, LLC � AIM Inc. � Alex Kincaid Law � Alexandria Industries � ARC Group Worldwide Inc � ARCMIM � ARMS AUTHORITY

� ATW Companies � Automatic Adrenalin, LLC � Battlefield Sports � BDO USA LLP � Beach Firearms LLC � Big Rock Sports � BMADDOX ENTERPRISES, LLC


� Brownells, Inc. � Buffalo Bill Center of the West � Business Automation Specialists of Minnesota, Inc.

� Cabelas � Centennial Gun Club � Century International Arms, Inc.

� Colt’s Manufacturing Company � Connecticut Spring & Stamping

� CZ-USA � Dave’s Sports Shop � Davidson’s Inc � Dealernfa, Inc � Dougherty & Company � Dunham’s Sports � Edge Arms � Edge Firearms � Ernst & Young LLP � Executive Protection Systems � EZCORP, Inc. � FloDesign, Inc. � FN America �Honor Defense �HTI Plastics � IBM � Inxites Americas � Itouch Technology � JMM Event Services � Kimber Mfg., Inc.

� Lipsey’s LLC �Magnus Precision Mfg., Inc. �Maverick Arms, Inc. �Maxim Defense Modern Arms Magazine

�mBLAST, Inc. �Michel & Associates, P.C. � NATIONAL FIREARMS DEALER NETWORK

� O.F. Mossberg & Sons � OCR Services Inc. � OIF Exporting LLC � Oneida Molded Plastics � Paloma A. Capanna, Attorney & Policy Analyst

� Parmatech Corporation � Patriot Silencers � Pisciotti, Malsch & Buckley, P.C. � Protiviti � Rapid Gun Systems � Reeves & Dola, LLP � Remington Outdoor Company � ResTech Plastic Molding � RGP � Rifle Dynamics � RPS/PAI � Ruger � Ryan Koenitzer, Inc. � SAP � Sharp Shot Shop � Smith & Wesson


� Sports Authority � SSI Manufacturing Technologies � Stephen P. Halbrook � Sturm, Ruger & Co., Inc. � Taurus � Taurus / SGR Law � TomFoxLaw � Troy Industries �Walmart �War Sport Industries �Westfield Electroplating Company �Whigham Enterprises Inc DBA Trulock Tool �Williams Shooters Supply


Map of Turnberry Isle

SMITH & WESSONA LEADER IN THE FIREARMS INDUSTRY

SINCE 1852

www.smith-wesson.comwww.tcarms.com

SMITH & WESSONSMITH & WESSON


ISO 9001:2008-Certified

ISO/TS 16949-Certified

AS 9100-Certified

ISO 13485-Certified

Visit us at Booth #10

Complex precision components.

YOUR ONE-SOURCE forMETAL INJECTION MOLDINGRapid Prototyping through Mass Production

www.arcmim.com

Inxites’ commitment is to drive a continuous process of building on different product and services capabilities to become your solution provider of choice – with a full service solution offering around manufacturing, end-to-end traceability, shop floor and packaging integration, item level serialization, anti-counterfeiting and supply chain analytics. Based on our core competence in these areas, we consult, develop, implement and validate complex projects with the highest level of service, performance and quality. Inxites has a proven track record and has created many long-term partnerships with our customers.

For more information contact Bob Groff via E-mail at [email protected] or by phone at (908) 256-3800.

#5


ISO 9001:2008-Certified

ISO/TS 16949-Certified

AS 9100-Certified

ISO 13485-Certified

Visit us at Booth #10

Complex precision components.

YOUR ONE-SOURCE forMETAL INJECTION MOLDINGRapid Prototyping through Mass Production

www.arcmim.com

Local Attractions � Cascata Grill (located at Turnberry Isle) � Bourbon Steak (located at Turnberry Isle) �Morton’s Steakhouse (5 mins from resort) �Houston’s (5 mins from resort) � Aventura Mall (5 mins from resort)

• The Grill on the Alley• The Cheesecake Factory

� Village at Gulfstream Park (South Federal Highway, 5 mins from resort)

• Texas de Brazil• III Forks• Café Laredo• Yard House

� Soffer and Miller Golf Courses (located at Turnberry Isle) � Forbes Four Star Spa & Fitness Center (located at Turnberry Isle) �Museum of Contemporary Art (NE 125th St., 20 mins from resort)


Trade regulations are constantly changing, and these changes can cause processing delays. For more than 30 years, OCR Services, Inc. has taken pride in anticipating the rapid changes in Global Trade Compliance. OCR continues to be a leader and innovator in Export Compliance Automation. Our modules help to streamline compliance processes, so that your focus can remain on your company’s growth.

Below are some of the OCR modules designed to streamline and manage your workflow for license submission:• Department of State Licensing• Department of Commerce Licensing• License Management• Watch List Screening (Denied Party Screening)

For information and a complete listing of OCR’s Modules, please contact Elayne Garber – [email protected] 954-427-5259

Parmatech Corporation is a leading supplier of custom manufactured metal injection molding components. MIM is a low cost, high volume manufacturing process that produces parts to near net shape, reducing or eliminating the need for secondary and machining operations.

Parmatech Corporation strives to offer the best solution package to our customers as defined by exceeding their expectations. Solutions include identifying prototyping needs, rapid prototyping, alloy development, metrology assistance, and identification and managing complex secondary operations.

For more information, please contact Karl Hoffman, MIM Defense Sales Manager via e-mail at [email protected] or by phone at either 401-824-5010 x5131 or 401-374-9001.


Transportation InformationMiami Int’l Airport (MIA) – Taxi fee approx. $54 from airport to hotel.

Fort Lauderdale – Hollywood Int’l (FLL) – Taxi fee is approx. $36 from airport to hotel.

Palm Beach Int’l (PBI) – Taxi fee is approx. $137 from airport to hotel.

If you require transportation assistance, or if you have any additional requests, please feel free to contact the hotel at (800) 327-7028.

Advanced Identification is a world leader in the development and integration of product identification equipment and methods. Our primary focus is on industrial and very difficult marking/tracking applications. We achieve success for many of these applications through our extensive knowledge base related to the use of laser and other specialized methods for marking as well as advanced bar code reading

techniques. We develop and provide customized solutions to meet customer project specific needs.

Consulting and Systems Development

Our team provides consulting assistance with the designs of new or better technologies and techniques related to item identification and tracking. We also assist organizations with development of corporate programs and standards for marking and tracking of their products and assistance with compliance to various industry standards many of which we help to write.

Advanced Identification, Inc. is a Cognex Partner System Integrator. We develop customized optical, light and software configuration solutions for the most difficult of vision, code reading and grading applications.

www.Advanced-Identification.com

Contact Mike Stover: 407-284-1688


2014 Three-Day Conference Agenda2014 Three-‐Day Conference Agenda MONDAY, OCTOBER 6 Noon Registration Opens

Sponsor / Exhibitor Setup Begins Grand Ballroom East Foyer

1:00 – 5:00 p.m.

Pre-‐Conference Training Session **Optional Paid Session** Salon IV

TUESDAY, OCTOBER 7 Full Conference Sessions 7:00 am Registration Opens

Grand Ballroom East Foyer 7:15 – 7:55 a.m. Breakfast and Exhibitor Time

South Foyer 8:00 – 8:15 a.m. Welcome – Jon Rydberg

Ballroom III 8:15 – 9:10 a.m. Equipping Your Firearms

Business to Capitalize on the Emerging International Boom – Rob Cicero and Jeff Grody Ballroom III

Split Track Sessions 9:15 – 10:10 a.m. Compliance Considerations for

the Supply Chain – Rob Cicero, Mark Smith, Tom Houck, Jon Rydberg Ballroom III


9:15 – 10:10 a.m. The Construct of Firearms – Ryan Cleckner Ballroom II

Managing Compliance Through a Large Distribution and Retail Network – Travis Glover Ballroom I

Third Party Due Diligence Technology – Elayne Garber and Jeff Chaplin Salon V

Leveraged Spend and Strategic Sourcing for the Firearms Industry – Chris Monk Salon IV

Full Conference Sessions 10:15 – 10:30 a.m. Coffee, Networking, Exhibitor

Break South Foyer

10:30 – 11:55 a.m. ATF Sessions – John Badowski, Michael Fronczak, Alphonso Hughes, Andrew Lang, Max Kingery, Marvin Richardson Ballroom III

Noon – 12:55 p.m. Lunch session – Anti-‐Corruption Practices in the Firearms Industry – Tom Fox Ballroom III


Split Track Sessions 1:00 – 1:55 p.m. Record-‐keeping Requirements,

Litigation Holds & Retention of Electronic Data – Ryan Erdreich Ballroom III

Federal Excise Tax and the TTB – John Heithaus Ballroom II

You Started as a Mom & Pop – Now What? – Alexandria Kincaid Ballroom I

Trends in Serialization and Scanning Technologies – Mike Stover Salon V

Modernizing Sales Through Online Distribution – Roger Butterwick Salon IV

Full Conference Sessions 2:00 – 2:15 p.m. Coffee, Networking, Exhibitor

Break South Foyer

2:15 – 3:10 p.m. Considerations for Compliance Excellence, Jon Rydberg Ballroom III

Split Track Sessions 3:15 – 4:10 p.m. Achieving Manufacturing

Excellence with Modern Technology – Jon Rydberg and Tim Stoltz Ballroom III


3:15 – 4:10 p.m. Using a “GRC Model” to Optimize Compliance Costs and Effectiveness – Dave Erickson Ballroom I

Electronic A&D Record Technology – Comparing Solutions for the Industry – Danny Briere Salon V

Trends in Supply Chain Management – Kevin Deely Salon IV

Full Conference Sessions 4:15 – 5:15 p.m. Firearms Industry Economic

Trends – An Analyst’s Point of View – Andrea James Ballroom III

5:15 – 7:00 p.m. Cocktail Reception Cascata Pool


SSI Manufacturing Technologies is an ISO 9001:2008 certified contract manufacturer that provides CNC precision machined components to many demanding OEM customers. A Woman-Owned small business, we are recognized for our consistent quality, superior customer service, and on-time deliveries. With deep experience and expertise in the firearms industry, SSI has a Type 7 Federal Firearms License (FFL), is a Special Occupational Taxpayer (SOT) to manufacture NFA regulated components, is ITAR compliant and JCP certified. For more information, please contact Gary Hutchison, President of SSI Manufacturing Technologies, at [email protected] or by phone at 860-589-8003 x114.

EasyBoundBook™ by Business Automation Specialists of Minnesota, Inc. (BASM), streamlines the ATF Bound Book requirements by recording the information in a database that communicates with your accounting, retail, distribution and/or manufacturing software. Save significant time, virtually eliminate errors, and track everything in one location for easy access to information and organized audits. EasyBoundBook is reliable, safe, and secure using modern Microsoft technology.

Learn more at www.EasyBoundBook.com and www.bautomation.com or call toll free: (877) 571-8580.



TM

Experts in FFL Risk Management

Firearms Industry Portal1,000 Pages • 80 Videos • QuizzesATF, ITAR, Import, Export, FCPAOnline • Real Time • Never Stale

The “Mock Inspection” SuitePersistent Analysis of the A&D BookTake Control of your Serial Numbers

Facilitate Serialized Inventories

Want a Free A&D analysis?www.OrchidAdvisors.com


WEDNESDAY, OCTOBER 8 Full Conference Sessions 7:15 – 7:55 a.m. Breakfast and Exhibitor Time

South Foyer

8:00 – 8:15 a.m. Day 1 Recap – Jon Rydberg Ballroom III

8:15 – 9:10 a.m. Mid-‐Term Elections Outlook – Larry Keane Ballroom III

Split Track Sessions 9:15 – 10:10 a.m. Making Sense of Dynamic State

Regulations – Paloma Capanna Ballroom III

ATF Inspections for Distributors and Dealers – Jillair Kubish Ballroom I

Advanced Technologies in Serial Number Control – Dider Kerckhof Salon V

Best Practices in Safety and Security – Billy Hoover Salon IV

Full Conference Sessions 10:15 – 10:30 a.m. Coffee, Networking, Exhibitor

Break South Foyer


10:30 – 11:55 a.m. Customs Border Protection Officer -‐ Ted Clifton Ballroom III

Noon – 12:55 p.m. Lunch Session – Avoiding License Revocation – Stephen P. Halbrook Ballroom III

Split Track Sessions 1:00 – 1:55 p.m. ATF Inspections for

Manufacturers and Importers– Jillair Kubish Ballroom III

Import, Export and ITAR – The 10 Things You Must Know – Johanna Reeves Ballroom II

Dealing in Class III Firearms – Brandon Maddox Ballroom I

Optimizing Legacy Systems for Modern Manufacturing and FFL Compliance – Jeff Cohen Salon V

Mining Social Media to Drive Sales and Customer Services – Mark Hatch Salon IV


Full Conference Sessions 2:00 – 2:15 p.m. Coffee, Networking, Exhibitor

Break South Foyer

2:15 – 3:10 p.m. World Class Leadership in Distribution and Retail – Wayne Decker Ballroom III

Split Track Sessions 3:15 – 4:10 p.m. Best Practices in ITAR

Compliance and Technology Control Plans – Jim Anzalone Ballroom III

Best Practices in Third Party Due Diligence and Background Checks – Brian Osowiecki and Hope Sholes Ballroom II

Auditing A&D Books, Reporting Lost/Stolen Firearms and Responding to ATF Traces – Jeff Malsch Ballroom I

IT Trends and How They Impact Compliance – Sean Chari Salon V

Emerging Trends in U.S. Government Contractor Compliance – Ryan Koenitzer Salon IV


Full Conference Sessions 4:15 – 4:30 p.m. Conference Final Remarks – Jon

Rydberg Ballroom III

Magnus Precision Manufacturing produces both prototype and production firearm components for many of the world’s leading firearm manufacturers. With a modern 55,000-sq. ft. facility located near Rochester, NY, Magnus is a leader in producing tight-tolerance, highly engineered CNC machined parts for the firearms market.

Magnus is proud to incorporate 60 state-of-the-art CNC machine tools throughout its manufacturing areas. These include numerous 5-axis simultaneous vertical machining centers as well as 5-axis horizontal machining centers that have capacity for 240-tools and 60-pallets for unattended machining operations. The most recent addition to Magnus’ milling capabilities is a 300-tool / 500-mm horizontal machining center.

For CNC turning operations, Magnus has numerous multi-tasking mill/turn machines along with swiss turning capabilities that also can be operated in “lights-out” modes due to their respective designs incorpo-rating both tool changer systems and B-axes travel to enhance greater productivity.

Magnus Precision’s ultimate mission is to provide product solutions to the firearms industry that are timely, cost effective and meet the most stringent standards of quality. Along with its Federal Firearms License (FFL), Magnus is ISO 9001-2008 certified and is ITAR-registered by the U.S. State Department.

For further information, please contact: Don Miller Director of Business Development Phone: 315-548-8032 E-Mail: [email protected]


Payment processing for firearms is the most scrutinized form of transactions in the United States today. It is also one of the most active transaction categories. Firearm sports enthusiasts embrace the need for control over the firearm market and want to navigate the purchase, financing, transporting and delivery of quality firearms in a safe and secure manner. Retail Profit Systems has partnered with Payment Alliance International to offer a “Gun-Friendly” Shooting Sports Payment Package.

RPS/PAI will process your credit and debit sales in a store front, e-commerce or mobile environment. A portion of each transaction will be donated to the National Rifle Association and the National Shooting Sports Foundation, encouraging responsible firearm ownership.

For more information, please contact Justin Wise, Sales Manager, toll free at (877) 777-0696, local calls at (541) 665-4855 or via e-mail at [email protected].

DYNAMIC TRANSACTION SOLUTIONS

RETAIL PROFIT SYSTEMS

Compliance Assurance and our logistics partner Forward Systems Group help companies in the firearms industry manage their global supply chain in compliance with U.S. export and import regulations, including the International Traffic In Arms Regulations (ITAR), Export Administration Regulations (EAR) and ATF regulations. We are your integrated logistics and consulting partner who can assess your compliance with applicable trade regulations and develop customized logistics solutions to assure your company‘s compliance with the laws and regulations affecting the firearms industry.

For more information, please contact Jim Anzalone, President of Compliance Assurance, via e-mail at [email protected] or via phone at 561-641-5036.


The Only Management Consulting Firm Dedicated

to the Firearms Industry

Compliance Strategy & Education

ERP ImplementationStrategic Services

Process ImprovementInternal ControlsCash Recovery

Mock InspectionsPolicies, Procedures and Manuals

ATF • ITAR • Import • Export • FCPA

Advance to the Next Levelwww.OrchidAdvisors.com


TM

Experts in FFL Compliant Operations


Speaker BiographiesJames M. Anzalone, President, Compliance Assurance, LLC

James Anzalone is the president of Compliance Assurance LLC, a firm specializing in global trade compliance solutions. Mr. Anzalone has consulted firms of all sizes throughout the world on the Export Administration Regulations (EAR), International Traffic In Arms Regulations (ITAR), Office of Foreign Assets Control (OFAC), Foreign Trade Regulations (FTR), and Customs & Border Protection (CBP) regulations.

For over 19 years, James has developed comprehensive compliance programs including commodity classification, license determination, restricted parties screening, development of corporate policies and proce-dures and employee training programs at companies ranging from the Fortune 100 companies to small start-ups. As an independent consultant, he has assisted companies with their Directorate of Defense Trade Controls (DDTC) registration, technology control plans, brokering activ-ities, commodity jurisdiction, encryption control reviews, government mandated and internal audits and training, DDTC, BIS and OFAC licenses and a myriad of other import and export compliance challenges.

Danny Briere, President, Business Transformation Services, Orchid Advisors

Danny Briere is the President of Orchid Advisors’ Business Transformation Services. Danny’s 30+ year career brings extensive experience in strategic business and product transformation across multiple industries, including telecommunications, Internet, mobile, aerospace, and most recently firearms.

He has personally consulted, lead teams, and coordi-nated consortia to address global, national, industry

and corporate issues on topics ranging from new initiatives, new technol-ogies, and new ventures.

He has been on the founding management team for multiple startups, including three Caribbean airlines, a 120-person strategic management


consultancy, an Internet software-as-a-service firm, and others. He holds key Internet patents in the areas of marketing workflows, Influencer identification, and Big Data processing. He has consulted with Fortune 500 CEOs on corporate transformation strategies, political and royal leaders on their country-level policies, and major associations and industry initiatives on their effect on their markets. He has authored more than a dozen books, including thirteen ...For Dummies titles and multiple hardback titles. He is a co-author with Jon Rydberg of the Orchid Advisors Firearms Compliance Guide series.

Danny is widely known in startup circles and has been active in Startup America Partnership, and helped launch state-wide entrepreneurial programs.

Danny has a Masters of Business Administration (MBA) from Duke Fuqua School of Business and a B.S. in Economics and Public Policy also from Duke University.

Roger Butterwick, CEO, National Firearms Dealer Network, LLC

Mr. Butterwick, earned his B.S.B.A. in Accounting from the University of Denver, and shortly thereafter became a licensed CPA in the state of Colorado. He’d go on to sit as the Vice President of the Colorado Society of CPAs, and later as Treasurer of the Jefferson County Colorado Republican Central Committee. He attributes much of his business success to lessons of discipline and leadership developed during his stint as an Officer in the U.S. Army Signal Corps.

Roger is a visionary leader who is known for building companies during their formative years; aiding them in securing financing, capturing market share, increasing brand awareness, and mentoring exceptional talent. He has over forty years of experience in financial and managerial leadership roles that encompass a wide variety of businesses and industries including professional consulting services, mortgage and financial instruments, automotive and food distribution. Mr. Butterwick specializes in developing internet-based eCommerce applications, and he has successfully helped grow companies from their fledgling start-up and concept years into successful entities with strong successful financial exits for stakeholders. Under the guiding principles of rewarding both


employees and shareholders alike, Mr. Butterwick embodies the tenants of trust, loyalty, fairness and dedication.

When he’s not busy growing companies and making yet another corporate success story, Mr. Butterwick can be found skiing or sailing competitively at various locations around the world.

Paloma A. Capanna, Attorney and Policy Analyst

Paloma is an attorney and policy analyst in private practice with more than 20 years of litigation experience at the trial and appellate levels in state and federal courts. Most recently, Paloma filed litigation against the NYS Governor and NYS Police Department for information relative to the SAFE Act on behalf of Gun Owners of America, SCOPE, and the Second Amendment Radio Show. She also authored an Amicus Brief to the Second Circuit Court

of Appeals in the case of NYSRPA v. Cuomo. Earlier this year, the Regent Journal of Law & Public Policy published Paloma’s article on the Heller “common usage” standard.

In July 2014, Paloma joined forces with SCOPE to design, launch, and work with the “Second Amendment Coalition Resource Center.” The 2A-CRC brings groups and individuals together to advance Second Amendment protections in all three branches of government.

Paloma has been a contributor to the team at Orchid Advisors since November 2012, helping manufacturers navigate the demands of federal and state laws and regulations.

Jeffrey Chaplin, Director of Sales and Marketing, World Compliance Technologies, Inc./OCR Services, Inc.

Jeffrey Chaplin currently works as an independent contractor for World Compliance Technologies an offshoot of OCR Services, Inc. He directs the sales and marketing of biometric technology solutions for the US and South American markets. In the summer of 2004 Jeffrey made the move to Wellington, Florida with his wife and two daughters to start a new life leaving

friends and family on Long Island and in Scarsdale, New York. With more than 20 years of sales, small business management and marketing


experience in the healthcare and security industries, in January 2013, Jeffrey left the corporate life to begin his own business as President/Owner/Independent Contractor of Advantage Identity Solutions to sell and consult for healthcare, government and other facilities on safety and security solutions. He has generated business and partner building relationship skills as a sales executive from his sales career working within the transportation, insurance, healthcare and security industries. In the past ten years selling security solutions on a national basis, Jeffrey has demonstrated and marketed high tech solution software to individuals and large groups consisting of thirty or more in attendance including CEO’s, COO’s, Directors and other Executive Management.

Sean Chari, Senior Manager, IS Audit Services, BDO USA, LLP

Sean Chari is a Senior Manager with BDO and he focuses on providing IT audit and advisory services to clients throughout the South Florida area. With over 20 years of experience, Sean has managed information technology operations and provided information technology audit, risk management and advisory services to organizations domestically and internationally for both public and private companies

across multiple industries, not-for-profit organizations, and governmental entities.

His wide range of experiences enables Sean to effectively lead engage-ments to achieve their stated objectives within the defined budgetary constraints. For complex engagements, with multiple requirements, dependencies and issues, Sean is well-equipped to manage and guide them as he has led international implementations and managed several engagements simultaneously across a variety of disciplines.

Robert J. Cicero, Vice President, General Counsel, Chief Compliance Officer and Secretary, Smith & Wesson Holding Corporation

Robert J. Cicero has served as Vice President and General Counsel of Smith & Wesson Holding Corporation since October 2011 and Chief Compliance Officer and Secretary of Smith & Wesson Holding Corporation since April 2012. As an


executive officer, Robert is responsible for building and leading the Legal, Compliance and Security functions of a 160+ year old, publicly traded, iconic American company.

Robert was previously Associate General Counsel, Compliance Officer and Assistant Secretary of Chemtura Corporation, a publicly traded, specialty chemicals company, where he had global responsibility for corporate governance, compliance, finance, employment, labor, compen-sation and benefits issues.

Prior to going in house, Robert was associated with the with the law firms of Shearman & Sterling, Morgan, Lewis & Bockius, LLP and an Akin Gump Strauss Hauer & Feld, LLP, where he focused his practice on employment law and executive compensation and benefits in the context of M&A transactions. He began his legal career as an Assistant Corporation Counsel, in the General Litigation division of the New York City Office of the Corporation Counsel. Robert received his J.D., with distinction, from Hofstra University School of Law and received his undergraduate degree, with honors, from the Catholic University of America.

Robert also has served as a Director of the Westchester (NY)/Connecticut chapter of the Association of Corporate Counsel (WESFACCA), where he was chair of the employment and benefits committee, and as a Director of the United Way of Greater Waterbury.

Ryan Cleckner, Vice President, Compliance, Remington Outdoor Company

Cleckner, a former sniper team leader in the U.S. Army’s 1st Ranger Battalion, is a combat veteran with multiple deployments overseas. Following his service, Cleckner became a sniper instructor and competitive shooter. He has appeared numerous times on the History Channel’s “Top Shot” program as a featured expert and in many firearm instructional videos.

Cleckner is now an attorney, Vice President of Compliance for the Remington Outdoor Company (ROC) and a voting board member of SAAMI. Prior to working for the ROC, he managed government relations for the firearms industry at the National Shooting Sports Foundation (NSSF).


Ted Clifton, CBP Officer, U.S. Customs and Border Protection

Ted Clifton began his service with the Department of Defense prior to moving to the U.S. Customs Service, later restructured as U.S. Customs and Border Protection (CBP) under the Department of Homeland Security. His Customs service has been with the Offices of Field Operations and International Affairs, and includes uniformed duty in Seattle and Washington DC, with international assignments to Asia and Europe. Currently, Officer Clifton is assigned to CBP’s Export Control Division where he has responsibility for developing and implementing CBP programs in support of strategic trade controls, export enforcement, interagency cooperation and trade facilitation.

Joshua A. Cohen, Lead Systems Engineer, Colt’s Manufacturing Company LLC

Manufacturing has always been Joshua’s forte, and applying technology to automate and assist in shop floor and business processes motives him. His educational background lies in computer science, programming as well as systems. Three quarters of Joshua’s professional career have been in the Firearms Industry, including Winchester and currently Colt. He has also held a position with an ISO9001 aerospace

manufacturer. The common theme between these companies is heavy reliance of serialization, tracking, and compliance. Joshua has lived day to day in each one of these environments and continues to directly effect the processes that govern compliance and the systems that manage it.

Wayne Decker, Senior Vice President, Operations, Big Rock Sports

Wayne has been with Big Rock Sports, LLC since December 2005 in his current role.

From March 2001 through December 2005, Wayne served as Director, Global Materials and Logistics, Kidde, Residential and Commercial Division, now UTC Fire and Security Division. During this time his responsibilities included Global Supply Chain


Management specifically, demand management, sourcing, procurement, transportation, production planning and distribution for 5 manufacturing facilities and 12 distribution centers in the US, Mexico, Brazil, Canada and China. Kidde is the world’s leading manufacture of Fire detection and suppression Equipment.

Wayne was with Regent Lighting, now a division of Cooper Lighting from October 1993 through February 2001. He was the Director of Purchasing and Logistics with responsibilities for supporting domestic and interna-tional sourcing, procurement, distribution and manufacturing operations.

Prior to joining Regent Lighting Wayne served honorably in the United Sates Marine Corps from 1986 through 1993.

Wayne graduated in 1991 from Columbia with a B.S.B.A.

Kevin Deely, Senior Practice Director, Resources Global Professionals

Kevin is a Senior Practice Director for supply chain management, leading RGP’s supply chain risk, compliance and sustainability practice. Based in Washington D.C., Kevin joined RGP from KPMG where he was one of the key leaders in the supply chain strategy and operations group. While at KPMG, Kevin was an integral part of the firm’s supply chain resilience and conflict minerals efforts supporting the devel-opment of methodologies, client engagement materials and delivering end-to-end Conflict Minerals programs.

Prior to KPMG, Kevin was with Booz Allen Hamilton in the strategy and operations practice, helping clients in the commercial and public sectors. His background includes more than 16 years in various supply chain operations and management consulting roles. He received his MBA from the University of Massachusetts at Amherst and has a Bachelor of Arts from the University of Georgia. He is a former board member of the Washington, D.C. chapter of APICS and is an active speaker on the topic of supply chain risk and conflict minerals compliance.


Ryan Erdreich, Attorney, Pisciotti, Malsch & Buckley, P.C.

Ryan L. Erdreich is an attorney with the law firm Pisciotti, Malsch & Buckley, PC. His practice area is concentrated in the comprehensive management and oversight of corporate legal matters, drafting of corporate and business related policies, proce-dures, guidelines, manuals and agreements and the nationwide defense of firearm and ammunition manufacturers, distributors and retailers in commercial and business disputes, employee disputes

and product liability and negligence claims. Mr. Erdreich graduated from Rutgers University with a B.A. in Economics. He obtained his law degree from Villanova Law School and is licensed to practice in New York, New Jersey and Florida, and he is regularly admitted pro hac vice to practice in other jurisdictions on specific individual cases.

David P. Erickson, Business Development Executive, GRC Business, IBM

Dave is a Business Development Executive for the IBM Risk Analytics where he works with companies in various industries to evaluate their software requirements for governance, risk and compliance needs. His focus is on helping clients build the business value of the integrated risk management approach, while drawing upon his personal experi-ences as a risk practitioner.

Prior to joining IBM, Dave spent fifteen years in diversified Accounting and Finance roles, beginning his career with Deloitte & Touche in Boston, MA, and most recently was the Chief Audit Executive for Nortek, Inc. At Nortek, Dave led the Audit function, while also leading the Enterprise Risk Management implementation that focused on proactive risk mitigation, and enhancement of shareholder value.

Dave holds an MBA from the Sawyer School of Management at Suffolk University, and an undergraduate degree in Management from the Purdue University Krannert School of Management. He is a licensed Certified Public Accountant in Massachusetts.


Christopher Fontaine, Senior Consultant, Orchid Advisors

Christopher Fontaine is a Senior Consultant at Orchid Advisors. Prior to joining Orchid Advisors in May, 2014, Mr. Fontaine held positions in the Finance and Internal Audit departments at Smith & Wesson where he was able to gain valuable experience in making operational procedures compliant with both federal and state law.

Mr. Fontaine has extensive market segment analysis and financial modeling experience stemming from a

stint in a Mergers and Acquisitions group at a Fortune 500 company. As a young business professional, he has had the opportunity to contribute to numerous knowledge summits made up of future business leaders giving him insight into both opportunities and obstacles the business world is faced with in the coming years.

Chris has a Masters of Business Administration (MBA) from the Isenberg School of Business at University of Massachusetts – Amherst and a B.S. in Business Administration, Summa Cum Laude, from Western New England University.

Thomas R. Fox, Principal, TomFoxLaw

Thomas Fox has practiced law in Houston for 30 years. He is now an Independent Consultant, assisting companies with anti-corruption and anti-bribery compliance. He was most recently the General Counsel at Drilling Controls, Inc., a worldwide oilfield manufacturing and service company. He was previously division counsel with Halliburton Energy Services, Inc. where he supported Halliburton’s software division and its downhole division.

Tom is the author of the award winning FCPA Compliance and Ethics Blog and the international best-selling books “Lessons Learned on Compliance and Ethics” and “Best Practices Under the FCPA and Bribery Act”. His book, “GSK in China: A Game Changer for Compliance” was released in August 2013. His latest book is Leadership in Anti-Bribery, which he co-authored with Jon Rydberg. He writes and lectures across the globe on anti-corruption and anti-bribery compliance programs.


Elayne Garber, Business Development Director, OCR Services, Inc.

For the past 3 years Elayne has been a Business Development Director with OCR Services. Prior to joining OCR Services Elayne worked in Business Development for various Telecommunications companies including BellSouth and SBC.

Elayne has served on the Board of OWIT and has been a member of the SFTA and WITI.

Travis M. Glover, Firearms Compliance, Safety and Risk Management Officer, Lipsey’s LLC

Travis began his career in the firearms industry 20 years ago working behind the gun counter for a small regional chain of retail stores in Columbus, Ohio. In the past two decades he has held several different positions throughout his career which range from retail sales, inside sales professional with one of the industry’s largest wholesalers, retail management and corporate management. Over the past 10 years Travis

has been focused solely on developing and leading firearm’s compliance programs that have been sustainable and recognized as best in class for multi-unit big box retail as well as independent retailers, wholesale, distri-bution and direct/internet channels of the firearms industry.

Mr. Glover resides with his amazing wife, Gerilyn, and three sons (Ethan 16, Canaan 12 and Lucian 3) in beautiful Baton Rouge, Louisiana. His love for the outdoors started at the age of 5 and that passion for our nation’s greatest pastimes has been passed down to his boys. They take advantage of every opportunity to Hunt, Shoot and Fish that comes their way and he believes there isn’t a better place in the U.S. to create those lifelong bonds and memories then in Louisiana’s “Sportsman’s Paradise”.


Jeffrey G. Grody, Principal, Orchid Advisors

Jeffrey G. Grody is a Principal in Orchid Advisors. Prior to joining Orchid Advisors in July, 2014, Mr. Grody was Senior Vice President and General Counsel of Colt Defense LLC from 2005 until 2014.

Mr. Grody brings to Orchid Advisors years of hands-on experience with every aspect of the business of designing, manufacturing and selling firearms and related products in the United States and throughout

the world. He has structured and negotiated countless transactions with customers, distributors, representatives and others relating to the distribution and sale of firearms, components, accessories, kits and ammunition throughout the world. Mr. Grody also has worked with supply chain issues of every type domestically and internationally.

Mr. Grody is intimately familiar with the legal and regulatory environment within which firearms manufacturers operate in the United States and when they export products or technology to other countries. As Colt’s senior corporate officer responsible for compliance, he super-vised corporate systems covering export, import and anti-bribery compliance, compliance with ATF regulations, and compliance with laws regulating manufacturers and government contractors generally.

Bob Groff, Vice President of Business Development, Inxites America

Bob’s experience includes 14 years of manufacturing management experience including the start-up and management of manufacturing plants in Colorado and the Bahamas. His experience has also included 5 years in supply chain management, particularly with production and inventory control. He is a Past

President of the North Jersey American Production and Inventory Control Society (APICS). His manufacturing career was followed by over 30 years of business development for Sperry Univac and Foxboro plus his own company, Global Automation Partners (GAP) in the area of automation and manufacturing IT. He is now Vice President of Business Development for Inxites America, an SAP Partner, offering S95 Based Manufacturing Integration and Serialization/Track & Trace solutions.


Stephen P. Halbrook, Ph.D., Attorney at Law, Law Offices of Stephen Halbrook

Stephen Halbrook has practiced law since 1978. He holds a J.D. from Georgetown University and a Ph.D. from Florida State University. The focus of his practice is the representation of manufacturers, importers, associations, and individuals in regard to firearm laws at the federal, state, and local levels. He has handled numerous ATF administrative matters and has litigated many civil and criminal cases. That includes victories in the U.S. Supreme Court and

other courts on behalf of the firearms industry and the rights of gun owners.

Halbrook is the author of the Firearms Law Deskbook, Gun Control in the Third Reich, The Founders’ Second Amendment, and other books. He has testified in Congress on nominations for Attorney General and Supreme Court Justice, and on various bills related to the Gun Control Act. See further www.stephenhalbrook.com.

Mark Hatch, CEO, mBLAST

With decades of experience in software engineering and high-tech management at both industry leaders and startups. Mark has been with mBlast for four years, and at the helm for the last two. He led software teams in developing the on-line storage services space at Carbonite and Intronis. At ICC and OneCore Financial, he contributed to the development of

Internet banking, brokerage, and customer service applications for the Financial Services Industry. Mark has also designed and built software applications for multi-lingual Machine Translation systems (where he holds a patent), large-scale on-line database searching, and Internet-based interactive gaming software. In addition to being a certified Scrum Master, Mark earned his MBA from Northeastern University, attended the University of Massachusetts at Amherst and the University of Massachusetts at Lowell, and has taught Computer Science and Mathematics in the Massachusetts State College System for the past twenty years.


John D. Heithaus, Senior Manager, Indirect Tax Services, Ernst & Young LLP

John D. Heithaus is a Senior Manager in Ernst & Young’s Indirect Tax practice and is responsible for the practice’s Missouri and Kansas markets. Mr. Heithaus has advised corporate taxpayers throughout the United States in matters of corporate reorganizations and business planning.

Mr. Heithaus has developed a subspecialty working with various excise taxes at both the state and federal level, including the Federal Firearms and Ammunition

Excise Tax (“FAET”). Despite occasional differences of opinion over the interpretation of regulations or policy matters, Mr. Heithaus values his strong relationships within the Alcohol and Tobacco Tax and Trade Bureau (“TTB”); the administrative body tasked with collecting and enforcing the FAET. Mr. Heithaus’ excise tax experience includes excise tax planning, process improvement, transaction analysis, and controversy assistance, including audit representation, settlement negotiations, and offers in compromise. Mr. Heithaus also represents his corporate clients in state tax controversy matters and has administrative appeals experience in 37 states.

Mr. Heithaus has served as an adjunct faculty member at William Mitchell College of Law where he taught courses in Federal Tax Research and State and Local Tax. He is a past member of the Tax Section of the Minnesota State Bar Association and the Hennepin County Bar Association. Mr. Heithaus has lectured on indirect tax matters for the Council on State Taxation, the Executive Tax Institute, the AICPA, and Lorman Education Services.

William J. Hoover, President, Executive Protection Systems

William (Billy) Hoover has served as President of Executive Protection Systems (EPS), LLC, since August of 2012. EPS is a safety and security integration firm located in Winchester, VA. Prior to joining EPS, he served as a law enforcement profes-sional for over 32 years. His last 25 years were spent as a special agent with the Bureau of Alcohol, Tobacco, Firearms and Explosives. He handled assignments


across the United States and in several foreign countries moving through the ranks to serve as the agencies Deputy Director for over two years. He brings a unique perspective to EPS’ understanding of federal sector needs and requirements. Mr. Hoover’s tenure with ATF included assignments in numerous Directorates from Project Officer in the Special Operations Division, Program Manager in Training and Professional Development, Resident Agent in Charge Portland, Oregon, Assistant Special Agent in Charge, Louisville, Kentucky, Special Agent in Charge, Boston, Massachusetts, Special Agent in Charge, Washington, DC and Assistant Director of Field Operations. During his time as Assistant Director of Field Operations he had oversight for the Bureau’s entire operational directorate for both law enforcement and industry operations. This involved 25 Field Divisions and ATF’s foreign posts. As Deputy Director, Mr. Hoover was responsible for the Bureau’s $1.16 billion dollar base budget and managing its 5,000 employees. He represented the United States at numerous conferences and meetings abroad. Most significant was his work with the Iraq National Police in Baghdad and numerous bi-lateral conferences in Mexico. Mr. Hoover has been an instructor at the International Law Enforcement Academy in Budapest, Hungary, and served as Operations Commander during the 2002 Winter Olympics in Salt Lake City, Utah. In 1998 he received the Bureau’s Distinguished Service Medal and in 2010 Mr. Hoover was awarded the rank of Meritorious Executive in the Senior Executive Service by President Obama.

Thomas K. Houck, VP of US Operations, ARCMIM

Thomas K. Houck is currently the Vice President of US MIM Operations for ARCMIM, Advance Tooling Concepts and Thixoforming. He joined the company in 2009. Prior to ARCMIM, Mr. Houck worked for Cloyes Gear & Products, Inc., where he held the position of Chief Operating Officer for all 8 global locations from February 2007 until he relocated to Florida and joined ARCMIM. From June 1999 through January 2007, Mr. Houck was employed in the automotive industry

with Metaldyne Sintered Components. He started at Metaldyne as Plant Manager for their North Vernon, IN facility and went on to become Director of Operations over their US and Asia operations including North Vernon, IN, Ridgway, PA, St. Mary’s, PA, Suzhou, China and


Pyeongtaek, South Korea. Mr. Houck was attended the school of business at the University of Wisconsin.

Michelle Ingram, CFO and CIO, Orchid Advisors

Michelle Ingram is the CFO and CIO of Orchid Advisors.

Ms. Ingram has approximately 15 years of interna-tional business experience leading Finance and IT functions for two Fortune 100 organizations. Key roles included that of First Vice President, Finance & Strategy at Bank of America (formerly Countrywide

Financial) and International Finance Manager for ESPN where she managed financial and strategic activities across multiple continents including North and South America and Asia.

Her notable career accomplishments include: (1) Managing highly sensitive M&A and litigation finance matters for a Top 5 global law firm; and (2) Playing a leadership role in the rapid growth of specific Countrywide Financial products specific to the securitization of multi-billion dollar portfolios for the secondary markets.

Ms. Ingram was also employed earlier in her career by a high-profile technology R&D center at ESPN. There, she designed and imple-mented advanced automation including the well known “Shot Tracker” technology that is commonly featured during ESPN’s on-air coverage of MLB, NBA and NHL events. She has implemented major compa-ny-data warehouses and has been an avid user of SAP, Oracle, SQL, Business Objectives and Crystal Reports. Ms. Ingram has also held key financial roles for leading firms such as Latham & Watkins LLP, Cigna Investment Services and Waste Management. Michelle has a Masters of Business Administration (MBA) in Corporate Finance and Investments & Financial Markets from the University of Southern California Marshall School of Business and a B.S. in Business Administration from UCONN.


Andrea James, Vice President & Senior Research Analyst, Dougherty & Company

Andrea James is a vice president and senior research analyst for Dougherty & Co., which is an investment bank in Minneapolis. She works out of Seattle researching emerging technologies on behalf of hedge fund and mutual fund investor clients.

She is particularly interested in revolutionary technologies that change human behavior and create

shareholder value along the way. Her research focuses on the aerospace and defense, clean tech/automotive, and industrial markets. She has developed expertise on the business ecosystems of defense and intel-ligence contracting, unmanned aerial vehicles (drones), commercial satellite imagery and Earth observation through remote sensing, precision agriculture technology, 3D printing, firearms sales, and electric vehicles and batteries.

Ms. James has enjoyed expert media appearances on CNBC, Bloomberg News, CNN, and Fox Business. Her research and interviews frequently appear in media outlets including Barron’s, Investor’s Business Daily, the Wall Street Journal, Bloomberg, and the MIT Technology Review. She has been profiled by CBS MarketWatch, the Philadelphia Inquirer, and National Public Radio.

She started her career as a data analyst for the Federal Deposit Insurance Corp. Ms. James earned a B.S. degree from the American University in Washington, D.C. She studied computer science and physics and graduated summa cum laude and with university honors,. She earned her master’s degree in journalism from Northwestern University, with honors.


Lawrence Keane, Esq., Senior VP, Assistant Secretary and General Counsel to the National Shooting Sports Foundation, Inc.

Lawrence G. Keane, Esq. is senior vice president, assistant secretary and general counsel to the National Shooting Sports Foundation, Inc. (NSSF), the firearm industry’s trade association. He is responsible for all of NSSF’s legal, government relations and risk management functions. He assisted in drafting the Protection of Lawful Commerce in Arms Act (Public Law No. 109-92) and the so-called “Tiahrt Amendment”. He serves as the firearms industry’s

chief spokesperson for all legal, legislative and regulatory matters.

He was named a 2014 Top Lobbyist by CEO Update for his handling of the flood of legislative proposals in the aftermath of the tragedy that struck Newtown, Connecticut, noting that “in his many media appear-ances he has been a calm, reasonable voice for an industry often caught in a passionate debate.”

He has co-authored several amicus curiae briefs on behalf of NSSF filed in the U.S. Supreme Court, most notably in the landmark Second Amendment cases of District of Columbia v. Heller, 128 S. Ct. 2783 (2008), portions of NSSF’s brief were quoted in Court’s opinion, and in NRA v. Chicago and McDonald v. Chicago.

Mr. Keane also serves as general counsel and corporate secretary to the Sporting Arms and Ammunition Manufacturers’ Institute, Inc. (SAAMI), the technical trade association of leading United States firearms, ammunition, and propellant manufacturers that sets voluntary firearms and ammunition safety standards. In addition to serving as an officer of SAAMI, Mr. Keane currently is the chairman of SAAMI’s committee on legal and legislative affairs.

The Assistant Secretary of State for Political Military Affairs appointed Mr. Keane to the Defense Trade Advisory Group (DTAG), which advises the State Department on the regulation of defense trade to help ensure that impediments to legitimate exports are reduced while the foreign policy and national security interests of the U.S. continue to be protected and advanced in accordance with the Arms Export Control Act. He served as a member of DTAG between 2008 and 2014.


Prior to joining NSSF, he was a partner in the White Plains, NY law firm of Pino & Asscociates, LLP where he represented a number of domestic and foreign firearm manufacturers in product liability cases. Mr. Keane successfully represented Beretta U.S.A. Corp. in the landmark cases of Hamilton v. Accu-Tek, et al. and Dix v. Beretta U.S.A. Corp.

Before joining Pino & Associates, LLP he was an Assistant District Attorney in the Westchester County, NY District Attorney’s Office. During his career as ADA, he investigated and prosecuted violent criminals. He was also assigned to the Economic Crime Bureau where he investigated and prosecuted complex white collar and organized criminal cases.

Mr. Keane obtained a B.A. in Economics and his Juris Doctorate from Fordham University. Mr. Keane is rated A.V. by Martindale-Hubbell.

Mr. Keane is a member in good standing of the bars of the State of Connecticut and New York, and is admitted to practice in the United States District Court for Connecticut, the Southern and Eastern Districts of New York, the United States Court of Appeals for the Second Circuit and the Ninth Circuit and the Supreme Court of the United States.

Alexandria Kincaid, Firearms Attorney, Alex Kincaid Law Firm

Alex Kincaid is a former elected District Attorney and the founder of Alex Kincaid Law, an Idaho and Oregon based law firm with the unique specialty of firearms law. Alex has over 16 years of experience as a successful trial lawyer and strategic planner. Her motto is: “We Defend Your Right to Defend Yourself ”, which goes to the heart of everything she does.

Alex made her mark as a respected and tenacious prosecutor by successfully trying hundreds of cases involving all manner of crimes (from petty theft to aggravated murder). She has been on the homicide scene to lead the major crimes team in making a determination of whether a shooting involved the lawful use of deadly force.

Alex is a staunch advocate of the Second Amendment, and she devotes time to drafting and supporting pro-gun legislation. Her proposed legislation has been backed by the NRA, and she is referred to as Idaho’s premier Second Amendment attorney & legislative advocate.


She hosts the “Gun Law Podcast”, and is a frequently requested speaker, radio and television guest. Alex uses her knowledge of the criminal justice system and her skills acquired as an on-site homicide consultant to law enforcement to assist you in planning for and protecting your estate, assets, business and firearms

Ryan Koenitzer, CPA, Principal, Ryan Koenitzer, Inc. Government Contracts Consulting Services

Mr. Koenitzer is an independent consultant with over 13 years of experience in risk advisory services including government contract accounting, pricing, federal contract compliance, regulatory compliance, business system implementation, and internal audit services. He advises clients on a wide range of financial and compliance risks including FAR, CAS, and other regulatory requirements of government contractors. Services have included design and

implementation of contractor business systems, processes and internal controls, preparation of incurred cost proposals and cost impact analyses, investigative support at the direction of outside counsel, consultation on cost allowability and allocability, outsourced internal audit functions and forensic accounting reviews, amongst other financial and regulatory compliance matters.

Prior to his independent practice, Mr. Koenitzer worked with KPMG, Baker Tilly, and Navigant Consulting specializing in their risk advisory groups, specifically services benefitting U.S. Government contractors. Mr. Koenitzer is an active member of the National Contract Management Association (NCMA) and CT Society of CPAs, and has presented and authored articles on behalf of each.

Jillair Kubish, President, Regulatory Compliance Practice, Orchid Advisors

Mrs. Kubish has approximately 15 years of profes-sional experience, with over half of her career as a regional ATF executive. Key ATF roles include that of Director, Industry Operations of the New Orleans Field Division and leader of New England Industry Operations.


Mrs. Kubish has been recognized at ATF headquarters in Washington D.C. and throughout the United States for her balanced approach as an independent regulator and advisor to Chief Executive Officers, Corporate General Counsel and Retail Store Owners. As the leader of the Northeast ATF Industry Operations, she has been responsible for the largest companies in the country including, but not limited to: Auto-Ordnance, Camfour, Colt’s Manufacturing Company LLC, Colt Defense, Century Arms International, Marlin Firearms, O.F. Mossberg & Sons, Kahr Arms, Sturm Ruger & Co. Inc., Smith & Wesson, Savage Arms, and many others.

Mrs. Kubish has become one of the country’s most well known experts on Federal and State firearm and explosives matters. This includes: ATF Compliance, Import / Export Compliance and ITAR. As such, she has been regularly called upon as a liaison between industry and Washington D.C. and has been chosen by both the ATF and National Shooting Sports Foundation to present on critical matters.

Mrs. Kubish now brings to the industry experience gained from performing thousands of regulatory inspections and developing key ATF HQ materials such as the Industry Operations Investigator Competency Model Project, the Industry Operations Operating Plan, and Online Training Videos for Federal Firearms Licensees. She has worked closely with and trained the State and Local Regulators and Law Enforcement Officers in matters pertaining to firearms. She has also been the Industry Operations Investigator (IOI) Class Supervisor at the Federal Law Enforcement Training Center, Glynco, Georgia.

Brandon L. Maddox, CEO, Dakota Silencers & FFL123.com

Brandon Maddox had to make a decision. Give up his part-time firearms business, or risk losing his prestigious position with a French pharmaceutical company. Brandon stayed true to his passion and though he lost his job, he’s attained something better: The American Dream. Starting as a home based FFL license dealer and Class 3 dealer, Brandon now owns and operates Dakota Silencer, one of the largest Class 3 FFL shops in the country.

Fed up with the government’s complicated FFL application process, Brandon also created an accessible and thorough step-by-step guide for the gun loving public. Through his site,FFL123.com, Brandon has helped


more than 60,000 satisfied customers navigate Federal and State regula-tions to obtain their FFL License and Class 3 licenses with ease. Brandon’s dedication to outstanding customer service has earned his businesses an “A+” rating from GunBroker.com and the Better Business Bureau, and a “100% positive” rating from Ebay since 1998. In addition, Brandon holds an MBA from Duke, is a registered Pharmacist (University of North Carolina – Chapel Hill), is CEO of BMaddox Enterprises, LLC. and was recently elected President elect of the Dakota Territory Gun Collectors Association.

Jeffrey M. Malsch, Esq., Partner, Pisciotti, Malsch & Buckley, P.C.

Jeffrey M. Malsch is a partner with the law firm Pisciotti, Malsch & Buckley, PC. His practice area is concentrated in the nationwide defense and risk management of firearm manufacturers, distributors and retailers in a wide range of areas, including products liability, negligence, recall analysis and implementation, product manuals and warnings, and

internal business operations and procedures. Mr. Malsch started working with the industry in 2001 defending companies involved in the municipal lawsuits around the country. As the industry started to prevail in these cases, Mr. Malsch transitioned to working on individual products liability cases based on allegations of defective design, manufacturing defect or improper warnings/instructions. His practice continues to be focused on these types of cases and proactively assisting clients in risk management.

Mr. Malsch graduated from the University of Vermont obtaining a B.S. in Mathematics. He obtained his law degree from American University in Washington, D.C. and is licensed to practice in New York, Connecticut, and various federal courts around the country. He is routinely specially admitted to practice in other jurisdictions on individual cases and he has obtained favorable jury verdicts and dismissals in states such as Texas, Arkansas, Alabama, Michigan and California. In addition, Mr. Malsch has been on the brief and argued appeals that resulted in published decisions. Outside of work, Mr. Malsch is busy helping raise four teenagers. He also enjoys the shooting sports, especially skeet and sporting clays, as well as skiing and ice hockey.


Christopher Monk, Managing Director, Supply Chain, Protiviti

Chris is a Managing Director and one of the leaders of the Global Supply Chain Solutions practice at Protiviti. He has a proven track record of analyzing, improving, and transforming organizations and processes and delivering sustainable cost savings for clients across a number of industries. His areas of focus include S&OP, Sourcing and Procurement, Category Management, Contract Lifecycle Management (Buy-Side & Sales-Side), Working Capital Optimization, and Supplier Management.

Chris received a BS in Industrial Distribution from Texas A&M University, where he graduated Cum Laude. Chris was recently named a 2014 Supply Chain Pro to Know by the Supply and Demand Chain Executive Magazine. He holds numerous distinctions, including: Certified Internal Auditor, Certified in Production and Inventory Management, Certified Purchasing Manager, Certified Supply Chain Professional, Six Sigma Green Belt, and Certified Import-Export Compliance Manager.

Brian Osowiecki, Senior Analyst, Trade Compliance, Smith & Wesson

Brian Osowiecki is currently a Senior Analyst of Trade Compliance at Smith & Wesson. During his tenure at Smith & Wesson, Brian worked in ATF, Corporate and Trade Compliance. He joined the company in 2010 after coming off of active duty with the U.S. Army. Prior to his call up to active duty, he worked as a Senior Auditor at Deloitte & Touché. Brian is still an active reservist in the CT Army National Guard and holds a BS in Accounting from the University of Connecticut.


Johanna Reeves, Attorney, Reeves & Dola LLP

Johanna Reeves’ practice focuses on regulatory compliance under U.S. export controls and federal firearms laws and regulations. Since 2003, Ms. Reeves has dedicated her practice to advising U.S. companies on export and import matters arising under the Arms Export Control Act, the International Traffic in Arms Regulations, the Export Administration Regulations, economic sanctions and embargoes administered by the Treasury Department Office of Foreign Assets Control, the Gun Control Act of 1968 and the National Firearms Act of 1934.

Ms. Reeves designs and implements compliance programs and provides training sessions on U.S. export and defense trade controls and federal firearms laws. She also designs and leads internal audits to assess compliance in these areas. Ms. Reeves counsels on voluntary and directed disclosures and represents clients on regulatory compliance and enforcement matters before the federal government.

She serves as Executive Director of the FireArms Import/Export Roundtable (F.A.I.R.) Trade Group, a national nonprofit membership organization dedicated to promoting and protecting the interests of the firearms and ammunition import and export community.

Jon Rydberg, CEO and Founder, Orchid Advisors

Jon Rydberg is the CEO of Orchid Advisors and author of: (1) Global Anti-Corruption & Anti-Bribery Leadership: Practical FCPA and U.K. Bribery Compliance Concepts for the Corporate Board Member, C-Suite Executive and General Counsel; (2) Firearms Compliance Guide 2014; and (3) The Four Pillars of Firearm Compliance.

Mr. Rydberg has served as a global Big 4 audit, compliance, and business consulting executive for approximately 20 years. He was most recently the Chief Compliance Officer and VP, Internal Audit at Smith & Wesson and was previously employed by such leaders as Ernst & Young, Protiviti, and United Technologies, a worldwide Fortune 50 conglomerate. He served public Board members, CEOs and CFOs on high profile matters


pertaining to mergers and acquisitions, due diligence, corporate fraud and SEC financial reporting scandals, Federal FCPA investigations, Sarbanes-Oxley material weakness remediation and the optimization of internal audit programs for billion dollar entities. He is an expert in manufacturing production control, supply chain management, process re-engineering and ERP optimization.

Mr. Rydberg was responsible for implementing the largest full-scale compliance and anti-corruption/anti-bribery program in the wake of an industry-wide DOJ/SEC-led FCPA sting. He is also author of The Four Pillars of Firearm Compliance, a text focused on transforming ATF compliance in the Firearms Industry and has featured in such media sites as the Wall Street Journal and CNBC.

Mr. Rydberg also served in the role of global Aerospace & Defense industry practice leader and held additional positions with the Department of Homeland Security (DHS) Manufacturing Industry Sector Board and was an Executive Committee Member of the DHS Manufacturing Supply Chain Team, APICS, the IIA and Mensa. He holds a Secret Clearance and is a Certified Management Accountant (CMA), Certified Production and Inventory Management (CPIM), Project Management Professional (PMP), and a Certified Internal Auditor (CIA). And, he holds three U.S. Patents and is a BSME, MBA and MACC (partial).

Hope Sholes, Manager, Firearms Compliance, Smith & Wesson

Passionate about the critical role that Firearms Compliance plays in the success of the business, Hope Sholes strives to be a leader and adopt best practices whenever possible. As the Manager of Firearms Compliance at Smith & Wesson, located in Springfield, Massachusetts, Hope is responsible for ensuring that the business is compliant with not only ATF regulations but State and local laws as well. Most recently, Hope was an integral part in the Company’s

launch of the ERP system SAP and worked to ensure that internal controls were properly implemented. It was before joining Smith & Wesson, in 2011, when Hope was able to get a taste of the Firearm Industry, while working as a Firearms Sales Associate in a retail establishment in Massachusetts. During her time in this position Hope


was not only responsible for increasing sales, but also facilitated standard work procedures, which resulted in a more efficient and organized environment.

Mark Smith, VP of Manufacturing and Supply Chain Management, Smith & Wesson

Mark serves as the Vice President of Manufacturing & Supply Chain Management for Smith & Wesson. Reporting directly to the CEO, he is accountable for all aspects of operations management - leading over 1,400 employees in the procurement, planning, manufacturing, and logistics functions. During Mark’s four year tenure at Smith & Wesson the company has undergone significant change. Revenues have increased from just under $400 million to over $600 million, they have consolidated their Thompson/

Center Arms operations from New Hampshire into their Springfield site, acquired their largest supplier to improve efficiency and reduce risk, outsourced core manufacturing processes to buffer against market fluctuations, implemented SAP, and completely redesigned their internal manufacturing layout to increase throughput and efficiencies. During this time gross margins have improved from the low 30% range to over 40%, and at the same time the company’s compliance environment has become and a core competency and a source of pride for the organization as a whole.

Prior to joining Smith & Wesson, Mark was a Director with the consulting firm of Alvarez & Marsal from 2007 through 2010 – where he assisted clients with operational improvements and bankruptcy turna-rounds. From 2001 to 2007 he held numerous positions of increasing responsibility for Ecolab – the global leader in water, hygiene and energy technologies and services, most recently directing strategic programs and acquisitions for the operations team. Prior to Ecolab, Mark held super-visory positions for Bell Aromatics – a specialty chemicals company. Mark holds a BS in Chemical Engineering from Purdue University, a Certified Supply Chain Management Professional certificate from APICS, and is a trained Lean Six Sigma Black Belt.


Tim Stoltz, Practice Engineer, Line of Business and Industry Services, SAP America, Inc.

Tim Stoltz is a Practice Engineer for SAP America, Inc. where he provides services support for SAP Manufacturing Execution (ME), SAP Manufacturing Integration and Intelligence (MII) and systems integration. He plays an architect role in designing the shop floor execution and quality transac-tions to manage serial number compliance during manufacturing.

Mr. Stoltz has eighteen years of experience designing and implementing Manufacturing Execution Systems (MES) that include planning, sched-uling, work in process management, quality control and machine integration solutions for Chemical, Consumer Products, Automotive and Aerospace and Defense processes.

Mike Stover, President, Advanced Identification, Inc.

Mike Stover is a developer of leading edge technology for identification and tracking solutions related mainly to laser marking, dot peen marking, industrial strength labels and tags, RFID, verifying and reading of various codes. Some of his inventions include laser safety seal and specialty lighting techniques for reading direct mark codes.

Mr. Stover was strongly involved with the creation of numerous standards and best practices documents including Aerospace SAE AS9132, Automotive Industry Action Group Guidelines B4, B11, B14 and B17, DoD UID and MIL-STD-130, FDA UDI, NASA STD-6002A and HDBK-6003A, International standards AIM DPM, ISO 16022, ISO 15415, ISO 15425, and others. In the past he has consulted for many end users on the creation of procedures and policies for how to mark and track their items. Some customers include: Dana Corp, Ford, GM, NASA, Northup Grumman and several branches of the US Military.

Mike currently sits on the Board of Directors for AIM North America, the American standards creation organization for bar code and RFID related technologies.


Save the Date! 2015 Firearms Compliance Conference

We are very happy to announce that next year’s conference and all conferences thereafter will take place in the Spring. Please reserve next May 12-13 to join us in Orlando, FL for the 2015 Firearms Industry Compliance Conference, and consider this special offer applicable only during this conference: register today only for next year’s conference and you will be provided a deeply discounted registration for only $99. Offer ends October 8, 2014.

This one time only discount can be purchased at the Orchid Advisors booth.

Orlando, FL • May 12-13, 2015


Orchid Advisors Conference-Only Discounts Technology, Software and Education Conference

Discount(1) • The Mock Inspection Suite (includes TVT and SNIT) $1,999 • Transaction Validation Tool (TVT) $1,199 • Serial Number Inventory Tool (SNIT) $1,199 • Laser Integration software See Booth For Pricing • 2015 Firearms Compliance Conference

(Excludes travel; Must book by 10.8.14) $99

• 2014 Firearms Compliance Guide Series (Books) o Manufacturer / Importer Volumes 1 and 2 o Retail Volume

$49 ea

• Firearms Industry Portal (FIP) 50% off • Firearms Compliance University (LMS) Free with FIP • Weekly Orchid Advisory Newsletter Free • Attendance at the Orchid Advisors Webinar Series Free • Four Pillars of Firearms Compliance (Book) Free with any

service • Anti-‐Bribery Leadership: Practical FCPA and U.K

Bribery Act Compliance Concepts for the Corporate Board Member, C-‐Suite Executive and General Counsel (Book)

Free with any service

Business Consulting Services Business services available on full-‐scope engagements and priced by scope. • Project Management and Change Management • Complete Assessment and Implementation of a Compliance Program • Strategic Lifecycle Services • ERP Optimization and Implementation • Working Capital Assessment, Cost Optimization and Strategic Sourcing • Duplicate Payments Cash Recovery • Internal Controls Optimization, Internal Audit, SOX and ERM Packaged Consulting Services • Recurring A&D Data Analysis

Visit Us at the Orchid Advisors

Booth

• ATF Compliance Awareness Poster Campaign • FFL Launch Service • On Call Executive Advisory • Inspection Readiness • Anti-‐Corruption (FCPA / UK Bribery) Assessment • Mock ATF Inspection or Annual Mock Services • Process and Systems Evaluation • Quarterly Serialized Inventory • Supplier Compliance Audits (ATF, ITAR, Imp/Export) • On-‐Site Training Services (One Day)

o Selected regulatory best practices o Compliance program best practices o Anti-‐Corruption/FCPA Programs o Enterprise Risk Management o Leverage Sarbanes-‐Oxley for Value


Available White Papers (Free)

Spotlight On: Serialized Inventory Analysis for the Firearms Industry

Intro: One of the most critical parts of operating within the firearms industry, or any commercial industry for that matter, is having an accurate inventory balance. You want to know your financial, operational and regulatory inventory balance at all times. This is vital because your inventory represents those key assets and products that you likely wish to sell. Inaccuracies in your on-hand firearms inventory balance

can result in financial reporting issues, customer delivery delays and regulatory violations. Read this White Paper for ten immediate actions that can make a difference managing your serialized inventory.

Spotlight On: Firearms Industry Compliance - Leading Technologies

Intro: You are an executive at a major firearms manufacturer. You operate in an intensively regulated industry, where you are expected to physically ID your products down to the component level. There are rules and regulations surrounding how long it takes you to mark, acquire, dispose, and record the history of each item. The rules change often, and are sometimes fuzzy in detail. Misinterpretation can lead to regulatory violations, increased third party

oversight and in some cases – loss of license. A lot is at stake, and it does not take hyperbole to make it serious. Read this White Paper to learn more about industry-leading technologies to enable your compliance.


Spotlight On: The Firearms Compliance Ecosystem™

Intro: Building a Compliance Culture is a long-term commitment to corporate stewardship, business ethics, and managed enterprise risk. It is not a one time event. It is not limited to one part of your business. It is, truly, an organiza-tion-wide, sustained effort that becomes part of your organization structure from Human Resources, to Finance and Accounting, to Manufacturing Operations. It doesn’t go aware

after an inspection and is embedded and continu-ously improved as your business and the regulatory environment evolves. “Being compliant” should be an ever-preset mantra that becomes part of your company’s core values. Read this White Paper to learn more about best-in-class compliance methodologies.

Spotlight On: NY Safe Act 2013 Orchid White Paper Series

Intro: An examination of what happened in New York during and after the passage of the NY SAFE Act provides a case study of this emerging pattern of legislation from governors’ pens. It is not that the public cannot locate the bills in a complex system; it is that the bills are not being published in a meaningful manner for the public, including manufacturers, to review and comment upon. Is it any wonder that individuals and associations are suing the state to have the NY SAFE Act declared unconstitutional?


Notes

Orchid Advisorsorchidadvisors.com/editor_uploads/documents/FCC_Program.pdf · Orchid Advisors is a...

Documents

Transcript of Orchid Advisorsorchidadvisors.com/editor_uploads/documents/FCC_Program.pdf · Orchid Advisors is a...